Job Description
Join our dynamic compliance team in Oakland where work-life balance meets professional excellence. We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence while enjoying flexible scheduling options. This hybrid role offers the perfect blend of structure and autonomy, allowing you to manage your schedule while protecting our organization's integrity. Work with industry leaders in a supportive environment that values your expertise and personal needs.
Responsibilities
- Monitor regulatory developments and implement compliance policies across all business units
- Conduct internal audits and risk assessments to identify potential compliance gaps
- Develop and deliver comprehensive compliance training programs for staff
- Investigate and resolve compliance violations with appropriate corrective actions
- Maintain accurate documentation of compliance activities and regulatory filings
- Collaborate with legal and executive teams on compliance strategy
- Stay updated on FINRA, SEC, and California-specific financial regulations
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of federal/state regulations and industry standards
- Excellent analytical and problem-solving abilities
- Exceptional written and verbal communication skills
- Proficiency with compliance management software (e.g., Compliance.ai, MetricStream)
- Ability to work independently and manage time effectively in flexible environments